Tsarina Lau Branyan (CRD #5628096, Registered Representative, Huntington Beach, California) has been fined $7500.00 and was suspended from associating with FINRA members in any capacity for 20 business days. This fine is payable when Branyan re-enters the securities industry. These sanctions were based on FINRA's findings that Branyan sold, or participated in the sales of, securities without […]

The following information is from FINRA’s website under “Disciplinary Actions, April, 2012:”   Glenn Loren Halpryn (CRD #1633028, Registered Principal, Aventura, Florida)  submitted a Letter of Acceptance, Waiver and Consent in which he was censured and fined $10,000.   Without admitting or denying the findings, Halpryn consented to the described sanctions and to the entry […]

Alan David Goddard Jr. (CRD #3019681, Registered Representative, Boca Raton, Florida)   has submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for 45 days. This fine must be paid either immediately upon Goddard’s reassociation with a FINRA member […]

Newbridge Securities Corporation (CRD #104065, Fort Lauderdale, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $20,000.   Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it failed to provide material information to customers […]

Bruce Kelly writes in a Sept. 13th, 2011, article in InvestmentNews.com that a broker-dealer who sold millions of dollars of failed private placements reached a $200,000 settlement with the Financial Industry Regulatory Authority Inc. last month, with the money going to the investors. In a Finra letter of acceptance, waiver and consent, Capital Financial Services Inc. of Minot, […]